Dorothy Lee is a registered investment advisor at LPL Financial LLC, based in Berkely, CA, with 18 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2081 Center St #141, Berkely, CA, 94704
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dorothy is a financial executive at Trilogy Financial Services Inc. since 2012, selling fixed insurance products including life insurance and term life. She is also a principal at ACSIA Partners since 2015, selling fixed insurance including long-term care insurance, dedicating minimal time to this role, and sells fixed insurance, dedicating minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Oppenheimer & CO. INC.Broker
A. G. Edwards & Sons, INC.Broker
State Registrations4 states
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